SEC Form 4 · accession 0001179110-18-012615
CONTROL4 CORP · CTRL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Cashen
Officer — SVP of Marketing
Period of report
Nov 6, 2018
Accepted (ET)
Nov 6, 2018 · 6:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001259515
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 6, 2018 | M | 5,022 | $4.89 | A | 5,022 | D | |
| Common StockF1,F2 | Nov 6, 2018 | S | 5,022 | $23.20 | D | 0 | D | |
| Common StockF1 | Nov 6, 2018 | M | 2,500 | $11.28 | A | 2,500 | D | |
| Common StockF1 | Nov 6, 2018 | S | 2,500 | $22.80 | D | 0 | D | |
| Common StockF3 | holding | — | — | — | 743 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $4.89 | Nov 6, 2018 | M | 5,022 | D | — | Aug 31, 2019 | Common Stock | 5,022 | 20,082 | D |
| Stock Option (Right to Buy)F5 | $11.28 | Nov 6, 2018 | M | 2,500 | D | — | Jun 10, 2023 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 22, 2018.
- F2This price represents the weighted average sale price for various open-market sales through a broker-dealer ranging from $22.80 per share to $23.56 per share. Full information regarding the number of shares sold at each price will be provided upon request from the SEC, the Issuer or a security holder.
- F3Shares held in Reporting Person's 401(k) Plan.
- F4Incentive Stock Options granted September 1, 2009 that are fully vested.
- F5Incentive Stock Options granted June 11, 2013 that are fully vested.